0001214659-15-000197.txt : 20150107 0001214659-15-000197.hdr.sgml : 20150107 20150107173623 ACCESSION NUMBER: 0001214659-15-000197 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150105 FILED AS OF DATE: 20150107 DATE AS OF CHANGE: 20150107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 BUSINESS PHONE: 505-332-5000 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RITTICHIER JEFFREY CENTRAL INDEX KEY: 0001628825 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 15514360 MAIL ADDRESS: STREET 1: 2015 CHESTNUT ST CITY: ALHAMBRA STATE: CA ZIP: 91803 4 1 marketforms-28370.xml PRIMARY DOCUMENT X0306 4 2015-01-05 0000808326 EMCORE CORP EMKR 0001628825 RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 true true false false Chief Executive Officer Common Stock 2015-01-05 4 A false 75000 A 75000 D Common Stock 2015-01-06 4 S false 29563 5.18 D 45437 D Common Stock 2015-01-06 4 S false 475 5.2292 D 44962 D Restricted Stock Units 2015-11-05 4 A false 225000 0 A Emcore Common Stock 225000 225000 D These shares were issued as part of a 300,000 restricted stock unit grant under the Company's 2012 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). This entry represents a portion of the total grant of restricted stock units that vested immediately and was settled in common stock on the grant date. The shares of common stock were awarded to the Reporting Person for no cash or other similar consideration. All sales were effected by the reporting person to satisfy the Reporting Person's tax liability in connection with the granting of restricted stock units under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d). Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two. Vests in three equal annual installments commencing on January 5, 2016. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of the two will be delivered to the Reporting Person. The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. /s/ Jeffrey Rittichier 2015-01-06